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Detailed Report
CHRISTOPHER THOMAS FARRELL
CHRISTOPHER T FARRELL
CRD#: 2955430
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8 Wright Street
WESTPORT, CT 06880-4701
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2004 (6 years)2 FIRMS2004 - 2008 (4 years)2 FIRMS2008 - Present (16 years)
Disclosure(s)
View By:
3/31/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 8/13/2021
B
Nevada 4/21/2023
B
Arizona 8/12/2020
B
New Hampshire 9/27/2012
B
Arkansas 4/21/2023
B
New Jersey 11/14/2008
B
California 11/14/2008
B
New Mexico 4/21/2023
B
Colorado 11/14/2008
B
New York 11/14/2008
B
Connecticut 11/14/2008
B
North Carolina 4/13/2015
IA
Connecticut 11/14/2008
B
Ohio 4/21/2023
B
District of Columbia 10/27/2017
B
Oregon 4/21/2023
B
Florida 11/14/2008
B
Pennsylvania 11/14/2008
B
Georgia 1/4/2023
B
Rhode Island 4/21/2023
B
Hawaii 10/27/2017
B
South Carolina 11/14/2008
B
Illinois 10/23/2020
B
Tennessee 7/11/2022
B
Indiana 11/14/2008
B
Texas 3/31/2014
B
Maine 10/16/2019
IA
Texas 4/16/2014
B
Maryland 11/16/2015
B
Vermont 9/12/2022
B
Massachusetts 11/14/2008
B
Virginia 11/26/2012
B
Michigan 11/14/2008
B
Washington 12/11/2014
B
Montana 3/22/2012

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 11/14/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 11/14/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/22/2004 - 11/17/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FAIRFIELD, CT
B
 04/22/2004 - 11/17/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FAIRFIELD, CT
IA
 01/14/1998 - 05/10/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTPORT, CT
B
 01/08/1998 - 05/10/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.